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RECORDS RETENTION
101S A F E- D A N N UA L
C O N F E R E N C EF E B R UA RY 2 2 , 2 0 1 9
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https://www.tsl.texas.gov/slrm
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AGENDA
Fundamentals
Email, Texts and Social Media Records
Compliance
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Three Pillars ofOpen Government
Public Information
Act(Gov. Code
Chapter 552)
Open Meetings Act
(Gov. Code Chapter 551)
Local Government Records Act
(Local Gov. Code Chapters 201-
205)
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Local Government Records Act
• Improve efficiency and economic operation of government.
• Preserve records of permanent and historical value.
• Provide impartial access to records management assistance.• Establish standards and
procedures for managing local government records.
LGC § 201.002 Purpose
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Laws Published as Bulletin D
http://bit.ly/bulletind
• Definitions
• Local authority• Role of RMO
• Compliance requirements
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“The application of management techniques to the creation, use,
maintenance, retention, preservation, and disposal of records for the
purposes of reducing the costs and improving the efficiency of
recordkeeping.”
LGC §201.003
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The Records Life-Cycle
Creation or Receipt
Maintenance and Use
Disposition
TransferDestroy
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A Local Government Record:
• Documents the transaction of public business• Is created or received by a local government • Is a record whether it is open or closed• May exist in any medium
LGC §201.003
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Non-Records
Convenience Copies
Blank Forms and Stocks of Publications
Library or Museum Materials
Alternative Dispute Resolution Working Files
LGC §201.003
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A Retention Schedule:
• Lists all records series with mandatory minimum retention periods.• Schedules are media-neutral.
• Benefits:oComply with laws and provide legal protection.oConvey retention rules to agency staff.o Identify, secure, and protect vital records.
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RecordNumber
GR1050-56
Record Title
TIME AND ATTENDANCE
REPORTS
RecordDescription
Time cards or sheets
Retention Period
4 years
Remarks
By regulation -40 TAC
815.106(i).
Citations or other notes affecting the
retention
Unique # assigned by
TSLAC
What TSLAC calls this
series
The scope; what kinds of records would be classified
here
Minimum amount of time the
records must be kept.
Elements of a Retention Schedule
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TSLAC Local Retention SchedulesRecords of County ClerksCC
Records of District ClerksDC
Records of Elections and Voter RegistrationEL
Records Common to All Local GovernmentsGR
Records of Public Health AgenciesHR
Records of Public Junior CollegesJC
Records of Justice and Municipal CourtsLC
Records of Public Safety Agencies (Police, Fire, EMS, ME, etc.) PS
Records of Public Works and Other Government ServicesPW
Records of Public School DistrictsSD
Records of Property TaxationTX
Records of Utility ServicesUT
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Local Schedule GR (General)
• Retention Schedule for Records Common to All Local GovernmentsoPart 1: Administrative Records
oPart 2: Financial Records
oPart 3: Personnel and Payroll Records
oPart 4: Support Services Records
oPart 5: Information Technology Records
https://www.tsl.texas.gov/slrm/localretention
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Local Schedule PS
• Retention Schedule for Records of Public Safety Agencieso Part 1: Records Common to All Public Safety Agencies
o Part 2: Law Enforcement Records
o Part 3: County Medical Examiner Records
o Part 4: Fire Fighting and Emergency Medical Service Agencies
o Part 5: Records of Community Supervision and Corrections (Adult Probation) Departments
o Records of County, District, and Criminal District Attorneys
https://www.tsl.texas.gov/slrm/localretention
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ESD FAQ
“What if the operational records of the ESD are retained by a non-governmental service
provider, not the ESD?”
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Fire Protection Providers:
• Subject to all rules and regulations as if the organization were a local government if:oProvides fire protection to a local government entity
for profit under a contract or other agreement; and
oWould be a fire department if the organization were a department of a local government entity.
• 37 TAC 495.201 (Rules of the TCFP)
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EMS Providers:
• Contract should include a provision about abiding by the ESD’s records retention schedule.• Must comply with Texas Medical
Board retention rules.• Recommendation of the Texas
Department of State Health Services; no law in the EMS Act speaking directly to this issue.
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RecordNumber Record Title Record Description
RetentionPeriod Remarks
PS4450-02 EMERGENCY MEDICAL SERVICE RUN REPORTS
Emergency ambulance run activity reports, advanced life-support report forms, and similar records pertinent to documenting the condition and treatment of sick or injured persons by emergency medical personnel.
PS4450-02a EMERGENCY MEDICAL SERVICE RUN REPORTS
Treatment rendered. 6 years, 3 months from date service rendered, or until the patient's 20th birthday, whichever later.
PS4450-02b EMERGENCY MEDICAL SERVICE RUN REPORTS
Treatment refused. 2 years.
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Permanent ESD Records:
• Board Meeting Minutes (GR1000-03a)
• Resolutions (GR1000-05)
• Annual Budgets (GR1025-04a)
• Annual Financial Reports (GR1025-07b)
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Managing Email Records
• Email is a format, not a type of record.
• Determine retention by the content of the email.o Same criteria as paper records.
• Includes email sent on personal devices or in personal accounts if they document the transaction of government business.
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Who Has the Record Copy?
• Custodian: The person who has the record copy, which needs to be kept for the full retention period.
• Sender is typically custodian of the record copy.• Recipient may also need to retain a copy if email
directs them to take an action or documents an action taken from the sender.
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Common Series for Email
• Administrative – 4 years (review for historical value)• General – 2 years• Routine – AV (as administratively valuable)
Correspondence – GR1000-26
• Resolution + 2 yrs
Complaints – GR1000-24
• Non-exempted or withdrawn – Date request for records fulfilled or withdrawn + 1 year.
• Exempted – Date of notification that records requested are exempt from disclosure + 2 years.
Public Information Act Requests – GR1000-34
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Transitory Information
• Temporary usefulness - Not essential to documenting business, fulfilling statutory obligations, and not regularly filed within your office’s recordkeeping system
• Examples:o Outlook meeting reminder
o Telephone message
o “Where are you?” text
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Managing Email Can Become an Easier Task
Take Small Steps• Don’t aim to clean
out your inbox all in one day.
Devote 5-10 minutes a day• If possible,
designate specific times to check and manage emails.
Make it habitual!• “Clean as you go”.
Be consistent and stick with it.
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Text Message Records
• Government officials texting during open meetings.
• Public Information Requests filed with the city.
• OAG: text messages about city business are subject to the Public Info Act.
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The general forms in which the media containing public
information exist include a book, paper, letter, document,
e-mail, Internet posting, text message, instant message,
other electronic communication, printout, photograph,
film, tape, microfiche, microfilm, photostat, sound
recording, map, and drawing and a voice, data, or video
representation held in computer memory.
Gov Code, §552.002 – Public Information Act
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New Legislation: S.B. 944 – Amendment to Public Information Act
• “Temporary Custodian” – past or present officer or employee creating or receiving public government records on a personal device.
• Must:o Forward or transfer records to the governmental body; or
o Preserve the public information in its original form on the privately-owned device.
https://www.texasattorneygeneral.gov/open-government
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Managing Text Messages
• Don’t create government records in this format. Use email, phone, or talk in person.
• If necessary, use separate devices/accounts for work and personal use.
• If messages are government records, decide how to capture them:o Screenshot, save image
o Forward to email
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Social Media Records
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Managing Social Media Records
Social Media is public information.
Usage of social media by a local government results in records retention and public access obligations.
Developing a Social Media Strategy will help satisfy those obligations.
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TECHNOLOGY THREATS
• Unsecured networks, viruses, denial-of-service attacks • Ransomware – a
cyberthreat to publish records or block access to them by demanding a sum of money as ransom.
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Ransomware Prevention
• Records-related tips from DIR:
oModernize legacy systems and ensure software is as current as possible.
o Limit the granting of administrative access.
oPerform regular, automated backups and keep the backups segregated.
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COMPLIANCE
Review the 3 Elements of Compliance:
• Designating a Records Management Officer (RMO)
• Filing a records management policy
• Declaration of Compliance
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“The records management officer in each local government shall:
(1) assist in establishing and developing policies and procedures…
(2) administer the records management program…”
LGC §203.002 and §203.023
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Designation of RMO
• File RMO contact information with TSLACo Form SLR 504
• Signed by the RMO designated in policy.• Update within 30 days of personnel change.• Option to be subscribed to The Texas Record blog
for news and updates.
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“…each governing body by ordinance or order, as appropriate,
shall establish a records management program to be administered by the records
management officer.” – LGC §203.026
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Compliance Element 1: Records Management PolicyModel Order or Ordinance for Small Local Governments (Policy Model 4)
oDesignates RMOoMust be accompanied by
minutes or signatures certifying its adoption by your Board.
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DO YOU HAVE A POLICY ON FILE WITH TSLAC?
YES! NO! I DON’T KNOW!
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Declaration of Compliance
• Form SLR 508 – Adopt the retention schedules that apply to the records maintained by your office
• Signed by RMO designated in policy and mail hard copy to TSLAC for filing.
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Download Forms and Templates
• SLR 504 – Designation of RMO• SLR 508 – Declaration of Compliance• Policy models for non-elected offices• Sample inventory worksheet and
disposition log
https://www.tsl.texas.gov/slrm/forms
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BULLETIN F:
“…preserve valuable historic records by establishing minimum and enhanced storage standards for pre-1951 court records and permanent records held by local governments.”
• Records in storage
• Paper records
https://www.tsl.texas.gov/slrm/pubs/bulletinf
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Required Minimum Storage Conditions
Environmental hazards and unauthorized
access
Direct exposure to sunlight
Contact with the floor
Fire * Flood water *
* Required only for structures built after April 7, 2015.
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Optional Enhanced Storage Conditions
Operational fire suppressant system
Pest management program
Use appropriate shelving
Install UV filters and limit fluorescent light
Store records in archival quality boxes
Environmental controls for temperature and
humidity
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Storage Security
• Keep sensitive records secure in a locked, limited-access area.• Establish rules or
procedures for allowing access to storage areas.• Lost or damaged records
may be unrecoverable.
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Storage Site Inspections
• Make it routine.oQuarterly, semi-annual, annual
• Identify potential hazards and be pro-active!oPests
oWater/mold
oProper shelving
o Fire-protection and suppression
• Create or update a disaster plan.
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We Can Do Even More
• TSLAC Storage Serviceso https://www.tsl.texas.gov/slrm/storage
• TSLAC Imaging and Microfilm Serviceso https://www.tsl.texas.gov/slrm/imaging-micro
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Training Resources
https://www.tsl.texas.gov/slrm/training•Webinars• Conferences• Regional
workshops
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The Texas Record Blog
https://www.tsl.texas.gov/slrm/blog/
Subscribe for:• Announcements• Upcoming training• New services• Featured questions
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QUESTIONS?
Find your analyst:https://www.tsl.texas.gov/slrm/contact
Call: (512) 463-7610
Email: [email protected]
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